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Previous: MCLEODUSA INC, 4, 2000-04-10 |
Next: MCLEODUSA INC, 4, 2000-04-10 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
(X) Check this box if no longer subject to Section 16. Form 4 or
Form 5 obligations may continue. See Instructions 1(b).
1. Name and Address of Reporting Person:
Mary Lee Sparks
2438 Campbell Road, N.W.
Albuquerque, New Mexico 87104
U.S.A.
2. Issuer Name and Ticker or Trading Symbol:
McLeodUSA Incorporated
MCLD
3. IRS or Social Security Number of Reporting Person (Voluntary):
4. Statement for Month/Year:
March 2000
5. If Amendment, Date of Original (Month/Year):
6. Relationship of Reporting Person(s) to Issuer (Check all
applicable):
( ) Director ( ) 10% Owner ( ) Officer (give title below)
(x) Other (specify below)
Until March 10, 2000: Member of 13(d) group owning more than 10%
7. Individual or Joint/Group Filing (Check Applicable Line):
( ) Form filed by One Reporting Person
(x) Form filed by More than One Reporting Person
Table I -- Non-Derivative Securities Acquired,
Disposed of, or Beneficially Owned
<TABLE>
<CAPTION>
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Class A 03/01/00 M 500 A $12.25 D (1)
Common
Stock
03/01/00 S 500 D 93.13 D (1)
03/08/00 M 500 A 12.25 D (1)
03/08/00 S 500 D 95.00 D (1)
03/09/00 M 500 A 12.25 D (1)
03/09/00 S 500 D 101.00 6,600 D (1)
03/01/00 S 1,875 D 93.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/06/00 S 312 D 86.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/07/00 S 5,313 D 88.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/08/00 S 18,437 D $97.43 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/09/00 S 2,813 D 103.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/10/00 S 7,500 D 105.56 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/17/00 S 1,875 D 90.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/23/00 S 2,187 D 91.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/24/00 S 1,563 D 92.13 33,739 (2) I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of John
Woodruff Sparks
dated April 20,
1990
03/01/00 S 1,875 D $93.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/06/00 S 313 D 86.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/07/00 S 5,312 D 88.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/08/00 S 18,438 D 97.43 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/09/00 S 2,812 D 103.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/10/00 S 7,500 D 105.56 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/17/00 S 1,875 D 90.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/23/00 S 2,187 D $91.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/24/00 S 1,563 D 92.13 33,739 (2) I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of Anne
Romayne Sparks
dated April 20,
1990
03/01/00 S 1,875 D 93.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/06/00 S 312 D 86.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/07/00 S 5,313 D 88.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/08/00 S 18,437 D 97.43 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/09/00 S 2,813 D 103.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/10/00 S 7,500 D $105.56 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/17/00 S 1,875 D 90.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/23/00 S 2,188 D 91.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
03/24/00 S 1,562 D 92.13 33,739 (2) I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Barbara Lee
Sparks dated
April 20, 1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/01/00 S 1,875 D 93.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/06/00 S 313 D 86.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/07/00 S 5,312 D 88.58 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/08/00 S 18,438 D $97.43 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/09/00 S 2,812 D 103.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/10/00 S 7,500 D 105.56 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/17/00 S 1,875 D 90.50 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
03/23/00 S 2,188 D 91.00 I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
6. Owner-
5. Amount of ship
2. Trans- Securities Form: 7. Nature of
1. Title action 4. Securities Acquired Beneficially Direct (D) Indirect
of Date 3. Trans- (A) or Owned at End or In- Beneficial
Security (Month / action Code Disposed of (D) of Month direct (I) Ownership
(Instr. 3) Day/Year) (Instr. 8) (Instr. 3, 4 and 5) (Instr. 3 and 4) (Instr. 4) (Instr. 4)
---------- ---------- ---------- ----------------------- ---------------- --------- ------------
Code V Amount (A)or(D) Price
---- - ------- -------- -------
03/24/00 S 1,562 D 92.13 33,739 (2) I By Mary Lee
Sparks 1990
Personal Income
Trust for the
Benefit of
Christina
Louise Sparks
dated April 20,
1990
393,356 D
664,418 I By Trust
Agreement dated
May 13, 1978
f/b/o Mary Lee
Sparks
Table II -- Derivative Securities Acquired,
Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
</TABLE>
<TABLE>
<CAPTION>
10.
9. Owner-
5. Number ship
2. Number of Form of
Conver- of Deriv- Deri- Deriva-
sion ative 6. vative tive 11.
or Secur- Date 8. Securi- Secur- Nature
1. Exer- ities Exer- 7. Price ties ity: of In-
Title cise Acquired cisable Title of Benefi- Direct direct
of Price 3. Trans- 4. (A) or and and Deriva- cially (D) Bene-
Deriva- of action Trans- Disposed Expir- Amount of tive Owned at or In- ficial
tive Deri- Date action of (D) ation Underlying Secur- End of direct Owner-
Secur- vative (Month/ Code (Instr. Date Securities ity Month (I) ship
ity Secur- Day/ (Instr. 3, (Month/ (Instr. 3 (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) 8) 4 and 5) Day/ Year) and 4) 5) 4) 4) 4)
-------- ------- ------- ------- -------- ---------- --------- ------- -------- ------- -------
Date Expir- Amount or
Exer- ation Number of
Code V A D cisable Date Title Shares
---- - - - ------- ------ ----- ---------
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Employee 12.25 03/01/00 M 500 (1) 9/24/07 Class A D
Stock Option Common
(right to Stock
buy) (1)
Employee 12.25 03/08/00 M 500 (1) 9/24/07 Class A D
Stock Option Common
(right to Stock
buy) (1)
Employee 12.25 03/09/00 M 500 (1) 9/24/07 Class A 31,500 D
Stock Option Common
(right to Stock
buy) (1)
Employee 12.125 (2) Class A 7,500 D
Stock Option Common
(right to Stock
buy) (2)
Employee 14.875 (3) Class A 7,500 D
Stock Option Common
(right to Stock
buy) (3)
</TABLE>
Explanation of Responses:
Explanation of footnotes to Table I: For purposes of Section
13(d) of the Securities Exchange Act, each of the joint filers is a
member of a group that together owns more than 10% of the Issuer's
Class A Common Stock. Except as indicated in the following notes, the
securities shown in Table I are beneficially owned for purposes of
Rule 16a-1(a)(2) by Mary Lee Sparks and not by the other joint filer.
(1) Beneficially owned for purposes of Rule 16a-1(a)(2) by
Steven L. Grissom. These shares are not subject to Mr.
Grissom's agreement with the other members of the 13(d)
group referred to in Item 6 of the cover page of this Form
4.
(2) Effective February 6, 2000, Mary Lee Sparks was delegated
investment and voting powers for shares held by this trust.
Explanation of footnotes to Table II: The derivative securities
shown in Table II are beneficially owned for purposes of Rule 16a-
1(a)(2) by Steven L. Grissom.
(1) The employee stock option dated 9/24/97 vests in four equal
annual installments which began on September 24, 1998.
(2) The employee stock option dated 12/22/97 vests in four equal
annual installments which began on October 12, 1999.
(3) The employee stock option dated 12/31/98 vests in four equal
annual installments beginning on December 31, 1999.
SIGNATURE OF REPORTING PERSON:
Mary Lee Sparks
Individually and as trustee of
the Mary Lee Sparks Trust, dated
May 13, 1978
By: Steven L. Grissom
Attorney in Fact
Dated: April __, 2000
JOINT FILER INFORMATION
Name: Steven L. Grissom
Address: 121 South 17th Street, Mattoon, Illinois 61938
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: March 2000
Signature: Steven L. Grissom
JOINT FILER INFORMATION
Name: Steven L. Grissom
Address: 121 South 17th Street, Mattoon, Illinois 61938
Designated Filer: Mary Lee Sparks
Issuer & Ticker Symbol: McLeodUSA Incorporated, MCLD
Statement for Month/Year: March 2000
Signature: Steven L. Grissom
As trustee of the
Personal Income Trusts
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